Organizations, Parents and Individuals Concerned with
Special Education

FROM:

Thomas Hamel

Chief, Program Services Unit

Douglass Bailey

Coordinator of Policy, Planning and Partnerships

SUBJECT:

Evaluations of Three- and Four-Year-Old Children
Suspected of Having Disabilities Pursuant to Section 4410 of the Education
Law

The individual evaluation is the first step a Committee on
Preschool Special Education (CPSE) must take to determine if a preschool child
meets the eligibility requirements for special education programs and services
and to develop a student's individualized education program (IEP). This
memorandum provides information regarding evaluations of three-
and-four-year-old children suspected of having disabilities, including
requirements for parental consent, timelines for conducting evaluations,
evaluation components and reimbursement procedures.

The memorandum also outlines procedures and directions for
completion of the required form for a municipality to claim reimbursement for
the cost of these evaluations pursuant to section 4410 of Education Law. This
information refers to the policies and procedures for electronic processing of
requests for reimbursement through the STAC Unit. Examples are presented when
additional written justification must be provided by the CPSE in order for
reimbursement of specific evaluation components to be approved by SED. Only
those evaluations where additional written explanation is required from the CPSE
may be filed by paper.

Please note that this information applies only to
evaluations arranged by the CPSE and does not pertain to evaluation of
school-age students with disabilities or to any evaluation reports submitted to
the CPSE from the Early Intervention program, parents or other sources.

Evaluations of Three- and Four-Year-Old Children
Suspected of Having Disabilities Pursuant to Section 4410 of the Education Law

Initial Evaluation

An individual evaluation for a three or four-year old child
suspected of having a disability means any procedures, tests or assessments used
selectively with an individual child as necessary to determine whether a child
has a disability and the extent of his/her special education needs. Upon
referral of a child with a suspected disability to the CPSE, the board of
education, with parentís consent, must arrange for an evaluation of the child.
The school district CPSE, is the multidisciplinary team required by federal law
to conduct the individual evaluation of a preschool child suspected of having a
disability. The CPSE has the primary responsibility to identify and to authorize
the specific components of each individual preschool evaluation, including the
required components, and any other appropriate assessments or evaluations.

The parent selects an SED approved evaluator and must provide
written consent for the proposed evaluation pursuant to section 200.5(b)(1) and
section 200.16(c) of the Commissionerís Regulations.

The initial multidisciplinary evaluation of a preschool
student pursuant to sections 200.4(b) and 200.16(c) of the Regulations of
the Commissioner of Education must include at least:

a physical examination in accordance with the provisions of sections
903, 904 and 905 of the education law;

an individual psychological evaluation;

a social history;

an observation of the child in the current educational placement;
and

other appropriate assessments or evaluations, including a functional
behavioral assessment for a student whose behavior impedes his or her
learning or that of others, as necessary to ascertain the physical,
mental, behavioral and emotional factors which contribute to the
suspected disabilities.

The determination of other appropriate assessments or
evaluations to be included as part of an initial evaluation or reevaluation must
be made on a case-by-case basis by a group that includes the CPSE with the input
of the childís parent(s) and other qualified professionals of various
disciplines. (See section 200.16(c)(2) of the Regulations of the Commissioner of
Education). This may include the child's teacher, the speech and language
therapist or other related service providers, or the approved evaluator selected
by the parent(s). The group must review existing data on the child including
evaluations and information provided by the child's parent(s), current classroom
based assessments and observations by teachers and related service providers.
For the child transitioning from the early intervention program, the early
intervention official, with parental consent, must arrange for the transfer of
records, including the most recent evaluations, to the CPSE and the approved
evaluator selected by the parent(s). (See section 4410(4)(c) of New York State
Education Law.)

The evaluation must include sufficient information for a CPSE
to determine a child's eligibility for special education programs and services.
To the extent that the approved evaluator conducts the initial evaluation as
authorized by the CPSE using the evaluation components identified above, State
reimbursement will be provided to the county. If the CPSE requires additional
evaluation components, the identified components are part of the initial
evaluation.

For the initial evaluation, should the evaluator find that a
child requires an evaluation beyond the limits stated (see boxed components on
previous page), or should a CPSE during the course of the school year, or at the
time of annual review, require a reevaluation of any component, the CPSE must
provide written authorization to the evaluator. Following the initial
evaluation, in the event that a child experiences a change during the year in
health, family structure or a related circumstance, the CPSE must provide
written authorization before the evaluator may conduct reevaluation of any
evaluation component, including the psychological or social history.

The approved evaluator must conduct the evaluation in
accordance with section 200.4(b) of the Commissionerís Regulations and must
provide documentation of the evaluation, including all assessment reports and a
summary of findings to the members of the CPSE. The summary report must include
a detailed statement of the childís individual needs. However, it may not
include a recommendation as to the general type, frequency and duration of
special services and programs; must not address the manner in which special
services and programs can be provided in the least restrictive environment; and
must not make reference to any specific provider of special services or
programs. The summary must be on a form developed by SED. This form is available
on our internet site, http://www.p12.nysed.gov/specialed/publications/preschool/,
or by referring to a SED field memo Updated Preschool Student Evaluation
Summary Report Form and Clarification on New Provisions Required Pursuant to the
Reauthorization of the Individuals with Disabilities Education Act (IDEA)
(January 2000).

Legislative Authorization

Section 4410(10)(b) of the Education Law, as amended by
Chapter 705 of the Laws of 1992, authorizes SED to establish separate
reimbursement rates for evaluations subject to approval by the Division of
Budget (DOB). In addition, Chapter 520 of the Laws of 1993 provides for
reimbursement of the costs of translating, when necessary, the summary report of
the evaluation from English into the native language or other mode of
communication of the parents. Chapter 520 also provides reimbursement for the
whole cost of translating the documentation of the evaluation, upon request of
the parent(s), unless it is clearly not feasible to do so. To assure
reimbursement, a CPSE should establish procedures to ensure that evaluators
maintain documentation of the parentís request for translation of the
documentation of the evaluation(s).

Establishment of Rates

Each year, DOB approves the same rates for preschool (section
4410 of Education Law) evaluations as those established by the Department of
Health for the Early Intervention program. Rates are established for the
following types of evaluation components: psychological, social history,
physicians and non-physicians. The rate for each component is the rate in effect
on the evaluation completion date and for the evaluated preschoolerís county
of residence. Rates may be viewed on the internet site for the Rate Setting Unit
at http://www.oms.nysed.gov/rsu/Correspondence/Methodology_Letters.html.
Rates are not subject to reconciliation.

Reimbursement Procedures

After a childís evaluation has been conducted, the CPSE
must initiate the Request for Commissionerís Approval of Reimbursement for
the Cost of Evaluations (STAC-5). (A copy of the form is
attached.) The
request form must identify those components of the multi-disciplinary evaluation
for which the provider may bill the appropriate municipality.

For each school year (July 1-June 30), providers may bill the
municipality only once for each component of the evaluation, regardless of the
number of sessions needed to complete the particular evaluation.

Requirements for Reimbursement

The following guidelines apply to section 4410 of the
Education Law evaluation reimbursement processing. Under normal
circumstances SED approval for reimbursement via electronic processing is
limited to:

one social history per school year;

one psychological evaluation per school year;

up to four other evaluations, in addition to the social history and
psychological evaluation as determined necessary and appropriate by
the CPSE, parent and evaluator (this may include a combination of
physician evaluations and/or non-physician evaluations);

the acceptable evaluation components listed on the attached
glossary. Other components beyond the six components listed above may
be reimbursable, but will require special (manual) processing.

Children who will turn 5 on or before December 1st
of the school year are considered kindergarten age for that school year, except
in districts such as the New York City Department of Education that have
established a later "cut off" date (section 4410(1)(i) of Education
Law). In those districts which use a later "cut off" date, the later
date is used to determine the last date of eligibility for preschool special
education and the first date for kindergarten eligibility for the school year.
Children who willturn 5 after the districtís "cut off" date
are considered preschoolers for an additional school year, and are eligible to
be evaluated and receive services through the CPSE. STACs submitted for
evaluations of children entering kindergarten in September must indicate
evaluation dates prior to August in order to be reimbursed via the STAC process.

Recommended Schedule for Evaluationof Students with Disabilities

Date of Birth

Transition of Children from Early Intervention

Transition of Preschool Students to Special Education
for School-age Students

1st Eligible for Preschool Special Education
(8 NYCRR 200.16(e))

Recommended earliest date to have initial evaluation by CPSE

Last Date Eligible for Preschool Student to receive services, through
the CPSE
(8 NYCRR 200.1(mm))

Recommended last date for student to be evaluated by the CPSE

Between Jan. - June 1999

Jan. 2002

Sept. 2001

Aug. 2004

July 2004

Between July - Dec. 1, 1999

July 2002

March 2002

Aug. 2004

July 2004

Between Dec. 2 - Dec. 31, 1999

July 2002

March 2002

Aug. 2005

July 2005

Between Jan. - June 2000

Jan. 2003

Sept. 2002

Aug. 2005

July 2005

Between July - Dec. 1, 2000

July 2003

March 2003

Aug. 2005

July 2005

Between Dec. 2 - Dec. 31, 2000 (when the
district cut off date for kindergarten eligibility is Dec. 1).

July 2003

March 2003

Aug. 2006

July 2006

Between Dec. 2 - Dec. 31, 2000
(when the district cut off date for kindergarten eligibility is later than
Dec. 1).

July 2003

March 2003

Aug. 2005

July 2005

The annual review of a preschool child with a disability is
based on a review of the child's IEP and other current information pertaining to
the student's performance. When the child's teacher(s) and/or any related
service provider(s) use formal or informal assessment measures as specified on
the child's IEP to document a child's progress, the assessment is not
reimbursable. However should the CPSE authorize a reevaluation or a new
evaluation in any component, as documented on the STAC-5, a claim for
reimbursement may be made.

Evaluators who bill for a bilingual evaluation may not bill translation
costs separately or in addition to billing at a bilingual evaluation rate.
The bilingual evaluation rates include the cost of any translated documents
required by section 200.16 of the Regulations of the Commissioner of
Education. In cases where the child does not require a bilingual evaluation,
but the parent requests translations of the evaluation summary and/or
documentation of the evaluation, the evaluator may bill for actual
translation costs incurred.

If the childís parent required the translation of the summary report of
the evaluation from English into the native language or other mode of
communication of the parent, report the costs of such translations on the
request form (STAC-5).

If, at the parentís request, documentation of the evaluation is
translated from English into the native language or other mode of
communication of the parent, indicate the translation cost on the request
form (STAC-5).

The CPSE must sign the STAC-5, retain the district copy and forward the
other three copies to the appropriate municipality. The municipality must
sign the STAC-5, retain the municipality copy and forward the other copies
to the evaluator and SED (on paper or as an electronic file).

Upon review and approval, SEDís STAC and Special Aids Unit
will send or transmit an Evaluation Reimbursement Approval (STAC-5A) for
each child to the responsible school district with informational copies to the
approved evaluator and appropriate municipality. Corrections to the STAC-5A may
only be made by a CPSE Chairperson or the designee of the school district. If an
evaluator or municipality identifies the need for correction, the appropriate
CPSE should be contacted.

To initiate corrections, the CPSE should sign the
"Revision" portion of the STAC-5A approval document and forward it to
the municipality. Upon transmittal to the STAC and Special Aids Unit, staff will
review the revision and, if appropriate, process an amended approval with copies
to the CPSE, the municipality and the section 4410 approved agency that
conducted the studentís evaluation. Reimbursement will be provided to the
municipalities through an Automated Voucher Listing (AVL) process.

Claiming Reimbursement using the Automated Voucher Listing
(AVL)

The AVL for Evaluations is generated on a quarterly basis
beginning on April 1st during the school year in which the evaluation
components were conducted. The AVL is transmitted to the municipality for review
and claim, then returned to SED for payment. As with all section 4410 of the
Education Law reimbursement, claims must be made within three years of the end
of the school year in which the evaluation was conducted. (See Chapter 474 of
the Laws of 1996.)

Glossary of Terms

The following are components that may be included in an
individual evaluation to determine whether a child has a disability. Some terms
are specifically identified on the STAC-5 form for reimbursement purposes as
required components of an individual evaluation (Table 1). Some are evaluation
components that may be used to identify the factors that may contribute to an
individual child's disability (Table 2). The remaining are not acceptable for
electronic transmittal as components for reimbursement and should be included as
part of another component if appropriate (Table 3). Only the components and
codes listed in Tables 1 and 2 may be included on electronically transmitted
STAC-5 forms.

Interpersonal, familial and environmental factors which
influence a student's general adjustment to school, including, but not
limited to, information on family composition, student's family history,
student's health and family interaction.

Social worker
School psychologist
Special education teacher
School administrator
School nurse

3. Psychological(Section 200.1(bb) Regulations of the Commissioner)

PSY

Developmental learning, behavioral and other personality
characteristics. Areas may include: general intelligence, learning
strengths and weaknesses, instructional needs, social interactions and
relationships.

Identifies the type, classification and degree of a child's hearing
loss as it relates to the development and understanding of spoken
language.

Licensed audiologist
Licensed physician
Nurse practitioner

5. Educational

EDU

Identifies a child's level of achievement, knowledge,
and development in subject and skill areas such as maintaining attention,
auditory and visual perception, fine and gross motor skills, and self-help
skills, social interactions and learning styles.

Special education teacher
School psychologist

6. Neurological

NEU

A specialized medical examination of the nervous system.
A medical history focusing on the nervous system is taken. Typically, the
exam tests vision, strength, coordination, reflexes and sensation. This
information helps to determine if the problem is in the nervous system.

An examination of the eyes and related structures to
determine the presence of vision problems and eye disorders and, if
necessary, the prescription and adaptation of lenses and other optical
aids or the use of vision training for maximum visual efficiency.

Licensed optometrist

10. Orthopedic

ORT

An examination by a medical specialist concerned with
the preservation, restoration and development of form and function of the
musculoskeletal system, extremities, spine and associated structures by
medical, surgical and physical means.

Licensed orthopedist

11. Otolaryngology

OTO

A medical evaluation by a specialist dealing with the
ear, nose, and throat which is not generally part of an evaluation to
determine a child's special education needs unless justification is given
as to how the evaluation provides information about a child's language and
communication or hearing as compared to generally expected developmental
age milestones.

A medical evaluation that deals with the mental,
emotional and behavioral functioning of a child as these areas related to
the child's learning, acquisition of skills and interpersonal
relationships with peers and adults.

A physician with a license in clinical psychiatry

14. Speech and Language

SPT

Developmental level at which a child understands and
uses language to communicate and interact with adults and peers. Includes
phonology, the correct production of sounds; semantics or understanding and
production of words and sentences, and abstract or relational words;
grammar, intonation, pragmatic use of language to communicate or express
needs and intention.

Teacher of the speech and hearing impaired
Licensed speech pathologist

All "OTHER" evaluation components (not identified
in Tables 1 or 2) must be processed manually by the STAC and Special Aids Unit.
The STAC System does not automatically recognize the evaluation terms listed on
the left column of Table 3. These may be included in other evaluation components
such as the terms noted on the right hand column. In the event that requests for
reimbursement for these "specialty" or "OTHER" evaluation
components are submitted as separate evaluation components, the completed STAC-5
form must include an explanation from the CPSE.

When possible, the "OTHER" evaluations listed as
Part of Table 3 should be processed as PART of the suggested standard
evaluations which make up the "Glossary of Terms."

When an "OTHER" evaluation cannot be delivered as
part of a standard evaluation listed in the "Glossary of Terms," and
must be considered as a "SEPARATE, STAND-ALONE" evaluation, the
following procedures must be followed:

The word "OTHER" must be written in at the bottom of section 10
of the evaluation form (below Speech/Language). Next to the word OTHER, the
district must indicate exactly what type of OTHER evaluation has been
conducted (i.e., Music, Assistive Technology, etc.) and specify whether
reimbursement has been made at the "physician or non-physician"
rate. A written justification as to the need for the OTHER evaluation from
the CPSE must also be attached to the STAC-5 form that is being submitted
for manual processing.

Upon receipt of the STAC-5, the STAC Unit will verify that the proper
paperwork is in order (attached justification, etc) and will manually
process the "OTHER" evaluation.

Please contact the STAC and Special Aids Unit at 518-474-7116
if you have any questions or need additional information.

The following should not be included for reimbursement on the STAC-5
form:

developmental observation - an observation of the child is required in the
initial evaluation, however it is not reimbursed as a separate component,

genetics,

screening,

social work assessment, and

summary report - there is no established reimbursement rate for the
completion of the summary report in English. Reimbursement is provided for
the cost of translating the summary report into a language other than
English for a child's parent, if the translation is not part of a bilingual
assessment of the child.

Who is responsible for identifying the specific evaluation components for
each individual evaluation for each preschool child suspected of having a
disability?

The Committee on Preschool Special Education (CPSE) has the
primary responsibility to identify and to authorize the specific components of
each individual preschool evaluation, including the required components and
any other appropriate assessments or evaluations. (Please refer to the
"Glossary of Terms" - Tables 1 and 2 - Pages 8 and 9). A group that
includes the CPSE, the student's parents and other qualified professionals of
various disciplines must review existing evaluation data on the student to
determine what additional data, if any, are needed to determine a students
eligibility for special education, the present levels of educational
performance and the needs of the student. With the consent of the parents,
approved evaluators and committees are provided with the most recent
evaluation report for a child in transition from the early intervention
program. The approved evaluator and the committee may review these and other
assessments or evaluations to determine if these assessments or evaluations
fulfill the requirements of the Regulations of the Commissioner. There is no
separate or additional reimbursement to an evaluator for review of existing
evaluation information. The review of existing evaluation data on the student
does not necessarily need to take place at a formal meeting. The approved
evaluator selected by the parent may be considered one of the other qualified
professionals who may recommend to the CPSE the tests or assessments to be
conducted as part of an initial evaluation or reevaluation of a preschool
student.

Is "screening" a component of an individual evaluation and is it
reimbursable?

No. Screening, pursuant to Part 117 of the Regulations of
the Commissioner, is a preliminary method of distinguishing from the general
school-age population those students who may possibly have a disability or
those who may possibly be gifted. It is not a component of a multidisciplinary
evaluation of a preschool child suspected of having a disability and
therefore, is not reimbursable.

What is a functional behavioral assessment (FBA)? Is reimbursement provided
for an FBA?

An FBA is the process of determining why a student engages in
behaviors that impede learning and how the student's behavior relates to the
environment. The FBA includes, but is not limited to, the identification of the
problem behavior, the definition of the behavior in concrete terms, the
identification of the contextual factors that contribute to the behavior
(including cognitive and affective factors) and the formulation of a hypothesis
regarding the general conditions under which a behavior usually occurs and
probable consequences that serve to maintain it. A variety of techniques are
available to conduct an FBA including, but not limited to direct assessment,
indirect assessment and data analysis.

A separate rate is not established for an FBA for a three-or
four-year old child. Since the specific assessment techniques and components of
the FBA vary based on the identification of an individual student's challenging
behavior, the CPSE must determine which evaluation components will be used for
the FBA. Reimbursement is requested using the STAC-5, with an identification of
the components used, either as part of an initial evaluation or a reevaluation.
The components of the FBA may include, but are not limited to a psychological,
social history or an educational assessment, either individually or in
combination.

Is parental consent needed for the CPSE to conduct an
initial evaluation of a preschool

child?

Yes. In the event that the parent(s) does not provide
written consent for an evaluation of the student, the CPSE must use the school
district's procedures to ensure that the parents have received and understand
the request for consent. If a parent continues not to provide written consent,
no evaluation is conducted and the process ends.

When and how are evaluation results reported to the CPSE?

The evaluation results must be provided to the CPSE,
including the child's parent(s), in time to allow the CPSE to make a
recommendation to the board of education within 30 school days of the date the
CPSE received parental consent.

The results or "documentation" of the evaluation
includes all assessment reports of the individual evaluation components and a
summary report of the evaluation findings. The summary report must be in a
form required by SED, and include a detailed statement of the preschool
child's individual needs. The summary report mustnot address
the manner in which special services and programs can be provided in the LRE
or make a recommendation as to the general type, frequency, and duration of
special services and programs. The required evaluation summary form may be
obtained by contacting VESID, Special Education Policy Development Unit at One
Commerce Plaza, Room 1624, Albany, New York 12234 or 518-473-2878 or by
accessing the SED internet web site at http://www.p12.nysed.gov/specialed/publications/preschool/.
The results or "documentation" of the evaluation, which includes all
assessment reports of the individual evaluation, may include recommendations
stated above.

Must the evaluation be conducted in languages other than English? Is
reimbursement provided when the evaluation results must be translated into
other languages for parents?

Yes. Tests and other assessments must be provided and
administered in the student's native language or other mode of communication,
unless it is clearly not feasible to do so. Similarly, the approved evaluator
must provide a statement of the evaluation results and recommendation provided
to the CPSE in English, and when necessary, in the native language of the
parent or other mode of communication used by the parent, unless it is not
feasible to do so.

Reimbursement for the written translated summary and
evaluation is not allowable if the evaluation is billed as a bilingual
evaluation. The bilingual evaluation rates include the cost of any translated
documents required by section 200.16 of the Regulations of the Commissioner of
Education. Evaluators who bill for a bilingual evaluation may not bill
translation costs separately or in addition to billing at a bilingual
evaluation rate. In cases where the child does not require a bilingual
evaluation, but the parent requests translations of the evaluation summary
and/or documentation of the evaluation, the evaluator may bill for actual
translation costs incurred.

What is a social history and are updates reimbursable
as part of the reevaluation?

A social history is a mandated component of an initial
evaluation only and is reimbursed at the rate set by SED. It is a report
gathered and prepared by qualified personnel related to the interpersonal,
familial and environmental variables, which influence a student's adaptation
to school and learning environments. It includes, but is not limited to data
on family composition, family history, developmental history of the student,
health of the student, family interaction and the student's adjustment to
school and learning environments.

In the course of the annual review or other review to
assess a child's progress in meeting IEP goals, a social worker, a
psychologist or other qualified professional may make a note to update the
social history. This is not a reevaluation and there is no separate
reimbursement for a social history update. However, a social history
reevaluation may be appropriate when there is a significant change or
serious issue in a child's family circumstances. This may be due to divorce,
remarriage, death or severe illness of a parent, or a change in the child's
health, stamina or attention due to a medical condition, illness or
accident. The cost of a social history reevaluation is reimbursed at the SED
established rate using the STAC-5 form with an attached statement by the
CPSE justifying the need for the reevaluation.

When is the psychological component of the evaluation required?

A psychological evaluation is mandated as part of the
initial evaluation of a preschool child suspected of having a disability.
Generally, most children should not require a psychological reevaluation on an
annual basis. However, the CPSE may authorize such a reevaluation if needed.

Section 200.4(b) of the Regulations of the Commissioner includes an observation
of the student in the current education placement, yet no rate has been
set to reimburse for this mandated evaluation component. Can this be
reimbursed?

No. An observation of the child in the current education
placement is an integral part of the existing evaluation and rate structure
and is not reimbursed as a separate component.

When is the CPSE required to provide written authorization for an
individual evaluation?

For reimbursement purposes, the CPSE must provide written
authorization to the evaluator for all components of an initial evaluation and
reevaluation. This is particularly significant when a child experiences a
change during the year in health, family structure or a related circumstance
and a reevaluation of the psychological or social history components may be
needed. Appropriate completion of the STAC-5 includes a certification
statement signed by the CPSE chairperson that the child has received a
multidisciplinary evaluation in accordance with section 4410 of the Education
Law and Part 200 of the Regulations of the Commissioner of Education.

During the course of an initial evaluation authorized by
the CPSE, all components of the evaluation are unable to be completed at one
session. Does the CPSE have to authorize those parts of the initial
evaluation that will be completed at a subsequent session? Are these
reimbursable?

The initial evaluation must be authorized by the CPSE and is
reimbursable, regardless of the number of sessions that it takes to complete the
evaluation. The evaluation must be completed within the timelines that allow the
IEP to be developed for eligible preschool children with disabilities within 30
days of the date when the CPSE received parent consent for the evaluation to be conducted. If subsequent
sessions are required to complete the evaluation, no additional
authorization is required, nor is additional reimbursement available.

Can a provider be reimbursed for an incomplete or partially completed
initial evaluation if the parent either leaves without notification to the
CPSE or formally withdraws the child from the process?

Yes. To the extent that the evaluator conducted an
incomplete or partial evaluation that was interrupted at the parent's
request, the evaluator should submit a summary report including all
documentation to the CPSE reflecting the evaluation results and indicating
that the evaluation was terminated before any recommendations could be
developed. The CPSE would then complete and submit a STAC-5 authorizing
reimbursement for those components, which were reported in the summary of
the evaluation.

Must all CPSE authorizations for evaluation be done through a formalized
process? If minutes are taken at the CPSE meeting will these minutes serve
as an authorization for reimbursement of evaluations/reevaluations?

All evaluations must be authorized in writing by the CPSE.
The method of transmitting the CPSE's authorization to the approved evaluator
is at the discretion of the school district. The method(s) should be included
in written district policy and transmitted to providers and municipalities so
they understand the policy. The evaluator's receipt of a copy of the signed
parent consent indicates the specific evaluation components authorized by the
CPSE. Item 12 of the STAC-5 form is the certification by the CPSE Chairperson
that the evaluation has been authorized by the CPSE and consistent with State
requirements. Minutes from the CPSE meeting are not typically considered as an
authorization for reimbursement of evaluations/reevaluations unless the school
district has established and transmitted that policy to providers and
municipalities.

May a related service provider conduct and be reimbursed for a
reevaluation for a student who is receiving related services only?

Only approved evaluators may conduct reevaluations with the
authorization of the CPSE. A related service provider may not conduct
reevaluations within their capacity as a designated related service provider.
However, if the related service provider is employed by or under contract with
an agency which has an evaluation program approved by SED, the related service
provider may conduct a requested reevaluation within the capacity of the
approved evaluation program. Approved evaluators may contract with other
qualified professionals to ensure timely completion of the evaluation. In the
course of working with a child, the related service provider may use informal
or formal assessment measures to document the child's progress. This is not
considered to be a reevaluation. Such assessment(s) may be conducted within
the scheduled related service session for which reimbursement is already
provided.

Can more than one agency be responsible for conducting an initial
evaluation?

In general, one agency is responsible for conducting an
initial evaluation. However, an approved evaluator who is unable to conduct
a specific component is permitted to enter into a formal agreement with
other qualified professionals to ensure completion of evaluations within
mandated timelines.

Is parental consent required for reevaluation?

Yes. If new tests or assessments are going to be conducted
as part of the reevaluation parental consent is required prior to the
reevaluation. Parents must be provided with a description of the proposed
reevaluation and the uses to be made of the information obtained through the
reevaluation.

Can authorization to conduct another evaluation component as part of an
initial evaluation or in a reevaluation of a child be given by the CPSE
chairperson without a full CPSE meeting?

Yes. A CPSE chairperson may authorize, in writing, another
evaluation component for a preschool child with a disability, in consultation
with a group that includes the CPSE and other qualified professionals
including the evaluator to ensure such evaluation is appropriate and
necessary. The group may conduct its review without the need to convene a
meeting of the CPSE. The CPSE chairperson, acting on behalf of the Committee,
may authorize the additional evaluation component for the child based on the
following conditions:

The approved program provides to the CPSE chairperson a written
description of the proposed evaluation and the uses to be made of the
information.

The evaluation must be sufficient to determine the child's individual
needs according to the areas related to the evaluation.

The evaluation is necessary to modify the programs and/or services
described in the approved IEP.

Chairperson of the CPSE must notify the parent in writing that
evaluation information is being sought regarding the preschool child in
accordance with section 200.5 of the Regulations of the Commissioner and
parental consent for the additional evaluation must be obtained.

However, if any CPSE member does not agree that a specific
evaluation component is necessary, it is recommended that the chairperson
convene a meeting of the CPSE to determine the need for such an evaluation.

For students who are eligible to enter kindergarten in September, is there
a cut-off date for obtaining an initial evaluation through the CPSE process?

There is no cut-off date specified in law or regulation
when the CPSE process should no longer be used to conduct an initial
evaluation for a child eligible for school age services in September. In most
cases no evaluations should be conducted through the CPSE process after July 1st
since, as a practical matter the child's eligibility and IEP will have to be
developed by the Committee on Special Education (CSE). Those children who will
be school age in September and who are referred for evaluation following
kindergarten screenings should be referred to the CSE.

In those rare cases when a preschool child may need
services for the first time in July/August preceding entry as a school age
student, a recommendation would be made by the CPSE and reimbursement would be
provided by the municipality. Section 200.1(mm) of the Regulations of the
Commissioner specifies that "a student shall be deemed to be a preschool
child with a disability through the month of August of the school year in
which the child becomes eligible to attend school pursuant to section 3202 of
the Education Law."

When a child transitions from the Early Intervention Program, moves to New
York from out of state or from one county to another or when a child has an
evaluation from other sources, is there a reimbursement mechanism for review
of existing evaluations?

No. Section 4410 of Education Law provides reimbursement to
the approved evaluators for conducting evaluations. There is no additional
reimbursement for review of existing completed evaluations.

How can the fees for appropriate translation be included in the evaluation
reimbursement?

If one or more components of the evaluation required the
participation of an individual in addition to the evaluator for the purpose of
translation, check the appropriate box on the STAC-5.

If the native language or mode of communication of the
parent(s) is other than English a translation of the summary report of the
evaluation must be prepared. Report the cost of such translation on the STAC-5.

If the parent requests the whole evaluation be translated
into his/her native language or other mode of communication, indicate the cost
of translation on the STAC-5.

Does SED establish rates for bilingual evaluations?

Yes. Use item 10 on the STAC-5 form to request reimbursement
for bilingual evaluation components.

If an evaluator uses a nurse to collect a child's medical records and review
them, is this a billable supplemental evaluation?

No.

How and when is an STAC-5 completed for preschool evaluations?

Following the review of the results of the initial evaluation
at the CPSE meeting, the chairperson must complete and sign the STAC-5. This
could be done at the CPSE meeting. The STAC-5 should identify those components
of the multidisciplinary evaluation for which the provider may bill the
appropriate municipality. The CPSE chairperson must sign and retain a copy of
the STAC-5 and forward the other three copies to the appropriate municipality.
The municipality must sign the STAC-5, retain its copy and forward the other
copies to the evaluator and SED. The original of the STAC-5 is provided to the
STAC and Special Aids Unit at the New York State Education Department for
processing.

How are providers informed that a STAC-5 has been completed and submitted by
the CPSE?

The service provider receives both a copy of the STAC-5
Evaluation Form and an informational copy of the STAC-5A "Approval for
Reimbursement of Evaluation Costs." Municipalities must pay based upon
receipt of the completed STAC-5 from the CPSE. Municipalities may not delay
payment until receipt of the STAC-5A, "Notification of Commissioner's
Approval for Reimbursement of Preschool Evaluations." (Formerly known as
"Approved Evaluation Components.")

What happens if a STAC-5 is filed for a child after the initial CPSE
meeting and later, during the year, a new evaluation is approved? Is the
STAC-5A amended, or is a second STAC-5 filed?

It is important to distinguish between a reevaluation and other
assessments such as those conducted as part of the annual review. For a
reevaluation authorized by the CPSE a new STAC-5 should be submitted to
indicate "reevaluation." As previously noted, assessments conducted
as part of an annual review are not subject to reimbursement through these
procedures. The STAC-5A should only be used to amend the STAC-5 if there is an
inconsistency between the STAC-5 and the STAC-5A.

If a child moves to another school district, which district completes the
STAC-5?

The district with CPSE responsibility at the time the child
was evaluated is responsible to complete and submit the STAC-5 to the SED.

How will SED determine the fiscal year of the evaluation when STAC-5 forms
are submitted?

The STAC-5 reflects the date the child was evaluated. This
date is used to determine the rate in effect for each evaluation component.